Broker-Dealers

Among other things, EXAMS may review whether and how Registrants have evaluated the potential impact of the final rules on their: (i) business activities; (ii) ...

The "biggest and most powerful" implementation being seen so far with AI is efficiency gains

When it comes to AI, the use of third-party vendors is the current, primary driver, making supervision critical

The FINRA AML enforcement action demnonstrates the SRO's practice of "progressive discipline"

The amendments expand the scope of entities subject to Exchange Act rule 605, and modify the content of order information reported

Come June 30, rule amendments aimed at improving the accessibility of order routing disclosures for NMS stocks will be in place

Broker-dealer was charged with failing to reasonably supervise the use of personal e-mails for business-related communications

Brief was filed against the SEC's approval of a CAT funding model deemed "arbitrary and capricious"

Bill St. Louis recently detailed what's on the horizon for broker-dealer enforcement in 2024

After the SEC proposed new rules in 2022 designed to force more entities to register as dealers, the Commission received many comments asking that investment ...